DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D••••• M•••••• C••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D••••• M•••••• C••••••••• C••••
At current firm
3 y
since Feb 23, 2023
In the industry
18 y
since Jun 26, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 23, 2023 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 19, 2016 to Jan 10, 2019 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJul 8, 2013 to Oct 26, 2016 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 17, 2012 · Encino, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 19, 2009 to Jan 3, 2011 · Encino, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jan 10, 2019, registered Feb 23, 2023 (1505 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 26, 2016, registered Oct 19, 2016 (-7 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address